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Nikesh is a risk and compliance professional with over 20 years of experience in managing financial services regulatory risks across the general insurance, consumer credit, retail banking, and payment services sectors.
With a background spanning in-house roles, regulatory bodies, and consultancy, Nikesh delivers practical, real-world solutions tailored to the unique needs of his clients in regulated markets.
His expertise lies in:
- Supporting regulatory authorisations and applications.
- Helping organisations identify and manage conduct risks.
- Enhancing governance frameworks, including advice on how Senior Managers and Certification Regime will impact the client.
- Conducting assurance and due diligence reviews to enhance compliance and help manage their regulatory risks.
- Advising on regulatory changes and their business impacts.
- Improving client’s engagement with regulators to align with regulatory expectations.
Nikesh’s pragmatic, insightful approach enables clients to manage regulatory challenges effectively and strengthen their compliance frameworks.
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Experience
Nikesh supported a client seeking FCA authorisation, after the client had withdrawn two prior applications. His assistance included:
- Designing a new operating and regulatory model to simplify regulatory arrangements while meeting business objectives.
- Conducting an assurance review of previous applications and regulated business processes to identify areas requiring enhancement.
- Developing a comprehensive set of policies and procedures aligned with regulatory requirements.
- Advising on process improvements and necessary governance arrangements.
- Assisting in the preparation and submission of a new authorisation application with supporting documents.
Additionally, Nikesh conducted a financial services regulatory conduct risk due diligence review for a bank involved in an M&A transaction.
He also undertook a CMA Retail Banking Order compliance assurance review for a bank, including controls testing.
Nikesh also advised a mortgage lender on regulatory considerations and risks for a proposed business restructure, providing actionable recommendations.
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